NASAA Upgrades Exam Resource for State Securities Examiners
November 13, 2019
November 13, 2019
WASHINGTON, Nov. 13 -- The North American Securities Administrators Association issued the following news release:
The North American Securities Administrators Association (NASAA) today announced the launch of a significantly enhanced NASAA Electronic Examinations Module (NEMO). This web-based software application is available for use by state securities examiners to conduct examinations of state-registered investment advisers and broker-dealers within their jurisdictions.
The North American Securities Administrators Association (NASAA) today announced the launch of a significantly enhanced NASAA Electronic Examinations Module (NEMO). This web-based software application is available for use by state securities examiners to conduct examinations of state-registered investment advisers and broker-dealers within their jurisdictions.